See Credit Details Below
In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Fundamentals of Broker-Dealer Regulation 2018 has been approved for 8 CRCM, 8 CSOP, 8 CTFA credits. This statement should not be viewed as an endorsement of this program or its sponsor.
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Why You Should Attend
Major changes in the broker-dealer industry and regulatory framework are anticipated as a result of the new administration and new senior leadership at the SEC that is providing a fresh and comprehensive examination of financial services regulation. At the same time, the broker-dealer industry is undergoing change as new rules put pressure on the traditional commission-based model and as digital advice platforms continue to take hold This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. Attendees will learn how the Securities Exchange Act of 1934, FINRA rules and state securities laws interact in governing the brokerage industry.
Attendees will also learn about recent exam and regulatory enforcement activity by the SEC, FINRA, and the states and about how broker-dealers are responding to these developments and the challenges ahead for the industry.
A distinguished faculty will offer insights into recent rulemaking that is having a far-reaching impact on the day-to-day operations of firms.
What You Will Learn
- Who are the regulators and how do they interact?
- What is entailed with respect to the duty to supervise?
- What steps need to be taken in response to the SEC’s and FINRA’s focus on conflicts?
- What is “suitability”?
- Will broker-dealers be subject to a new SEC Uniform Standard of Care?
- What is the role of the chief compliance officer?
- What are the SEC’s and FINRA’s 2018 exam priorities?
Who Should Attend
Anyone entering the brokerage industry will benefit from this program’s thorough grounding in the basic regulatory regime governing the industry, as will anyone already working in the industry who would like a refresher.
Program Level: Basic
Intended Audience: Anyone entering the brokerage industry will benefit from this program’s thorough grounding in the basic regulatory regime governing the industry, as will anyone already working in the industry who would like a refresher.
Prerequisites: An interest in broker-dealer issues.
Advanced Preparation: None